Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
LAM, HEUNG NGAI
Chinese Name of Relevant Individual
林向藝
HKMA Registration Number
AA1075
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
First date of engagement
11 Sep 2008
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
First date of engagement
17 Feb 2020
Is an Executive Officer? (Yes / No)
No
Capacity
SALES MANAGEMENT
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HANG SENG BANK, LIMITED
SFC CE number
AAH297
Business Address
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
Since 17 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 11 Sep 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
11 Sep 2008 - 16 Feb 2020
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
15 Mar 2016 - 15 May 2016
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HANG SENG BANK, LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Sep 2011 - 11 Aug 2015
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
23 Jun 2007 - 02 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CITIBANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
23 Jun 2007 - 02 Jul 2008
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
01 Apr 2003 - 30 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
01 Apr 2003 - 30 Apr 2007
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
DBS BANK (HONG KONG) LIMITED
Regulated Activity
Type 7: providing automated trading services
Effective Period
01 Apr 2003 - 21 Mar 2005
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
LAM, HEUNG NGAI
:
Chinese Name of Relevant Individual
林向藝
:
HKMA Registration Number
AA1075
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HANG SENG BANK, LIMITED
Type 1: dealing in securities
11 Sep 2008
No
SALES MANAGEMENT
HANG SENG BANK, LIMITED
Type 4: advising on securities
17 Feb 2020
No
SALES MANAGEMENT
Name of Registered Institution
SFC CE number
Business Address
HANG SENG BANK, LIMITED
AAH297
HANG SENG BANK BLDG., 83 DES VOEUX ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AA1075
HANG SENG BANK, LIMITED
Type 4: advising on securities
Since 17 Feb 2020
No
AA1075
HANG SENG BANK, LIMITED
Type 1: dealing in securities
Since 11 Sep 2008
No
AA1075
HANG SENG BANK, LIMITED
Type 7: providing automated trading services
11 Sep 2008 - 16 Feb 2020
No
AA1075
HANG SENG BANK, LIMITED
Type 4: advising on securities
15 Mar 2016 - 15 May 2016
No
AA1075
HANG SENG BANK, LIMITED
Type 4: advising on securities
23 Sep 2011 - 11 Aug 2015
No
AA1075
CITIBANK (HONG KONG) LIMITED
Type 1: dealing in securities
23 Jun 2007 - 02 Jul 2008
No
AA1075
CITIBANK (HONG KONG) LIMITED
Type 4: advising on securities
23 Jun 2007 - 02 Jul 2008
No
AA1075
DBS BANK (HONG KONG) LIMITED
Type 1: dealing in securities
01 Apr 2003 - 30 Apr 2007
No
AA1075
DBS BANK (HONG KONG) LIMITED
Type 4: advising on securities
01 Apr 2003 - 30 Apr 2007
No
AA1075
DBS BANK (HONG KONG) LIMITED
Type 7: providing automated trading services
01 Apr 2003 - 21 Mar 2005
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.